Herbert C. Barnes
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Herbert Cowenhoven Barnes JR, who also goes by Herbert Cowenhoven (jr) Barnes, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1982. Herbert had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2021 - December 31, 2022
CADARET, GRANT & CO., INC.
May 1, 2013 - December 31, 2022
CADARET, GRANT & CO., INC.
August 20, 1984 - May 6, 2013
MML INVESTORS SERVICES, LLC
July 20, 1983 - May 24, 1985
CARDELL & ASSOCIATES, INCORPORATED
January 7, 1983 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
February 17, 1982 - August 29, 1984
TOWER SQUARE SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
